Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$76,324,146,231
Number of Penalty Records: 
5,303
Note: 
The totals here are adjusted to account for the fact that each parent's entries may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. They are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the individual records list below.

Top 10 Parent CompaniesTotal Penalty $Number of Records
Bank of America$13,398,055,23575
UBS$11,613,979,90946
Citigroup$8,091,160,13534
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,210,71284
Deutsche Bank$3,984,084,82823
Goldman Sachs$3,738,695,98725
Wells Fargo$2,405,119,26152
American International Group$1,579,000,0004
MF Global$1,324,000,0003


Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.
Download results as CSV or XML
Company Parent Parent Major Industry Year Agencysort icon Penalty Amount
National Estate Planning Service and Planning and Senior Advisory Services   2006 AZ-SEC $635,000
Cornerstone Senior Planning   2006 AZ-SEC $545,000
Estate Planning Protection, Inc.   2006 AZ-SEC $1,145,000
Butterworth Advisory Services and Senior Advisory Services   2006 AZ-SEC $285,000
Precision Model & Design, Inc. et al.   2006 AZ-SEC $818,000
Parklane International Corp.   2006 AZ-SEC $20,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2006 AZ-SEC $1,250,000
Easy Street Financial Group, Inc.   2006 AZ-SEC $8,535,467
Mid America Energy, Inc. et al.   2007 AZ-SEC $300,000
Warren Exploration, LLC   2007 AZ-SEC $122,000
Meta Funding, LLC   2007 AZ-SEC $1,299,900
Hardy Asset Management   2007 AZ-SEC $732,076
Sneva Alliance   2007 AZ-SEC $115,282
ACI Holdings, Inc.   2007 AZ-SEC $999,763
American Elder Group, L.L.C. and American Elder Group, Inc.   2007 AZ-SEC $1,245,403
Estate Protection Consultants, L.L.C.   2007 AZ-SEC $226,891
Agra Technologies, Inc.   2007 AZ-SEC $10,417,532
RYM Technology Holdings, L.L.C.   2007 AZ-SEC $25,000
Diamond Bay Investments, Inc.   2008 AZ-SEC $25,000
Kelly's Mobile Home Sales, Inc.   2008 AZ-SEC $4,592,939
CAG Financial, L.L.C and CAG Financial Services, L.L.C and Leigh & Associates, L.L.C.   2008 AZ-SEC $566,573
G'ieber Financial, LLC   2008 AZ-SEC $1,609,650
Panama Capital Funding, L.L.C.   2008 AZ-SEC $5,000
Bella Funding, L.L.C.   2008 AZ-SEC $10,000
Kuypow, Inc. dba Mo's Properties and Investment Group   2008 AZ-SEC $819,290
Pacific Coast Holding Co. and Hall of Fame Partners, LLC   2008 AZ-SEC $650,000
MNI Properties, L.L.C. and Mortgage Notes, Inc.   2008 AZ-SEC $5,867,967
CAG Capital, Inc. dba Glendale Car Connection   2008 AZ-SEC $1,024,406
Property Quest D.J.E., Inc.   2008 AZ-SEC $5,210,399
Reserve Oil & Gas, Inc.   2008 AZ-SEC $20,000
Severns Properties, LLC and Severns Capital, LLC   2008 AZ-SEC $3,631,115
Motors de Amigos, Inc. and Rock'N R Car Company Enterprises, Inc.   2008 AZ-SEC $315,150
Nakami Chi Group Ministries International   2008 AZ-SEC $11,294,912
Marine 3   2009 AZ-SEC $75,000
BSK Enterprises, LLC   2009 AZ-SEC $2,539,225
Cosas Management Group, L.L.C.   2009 AZ-SEC $1,405,366
Southern Homes, L.L.C.   2009 AZ-SEC $1,327,500
Highline Estates, LLC et al.   2009 AZ-SEC $676,570
Trademark Capital Management, LLC and Blue Investments, LLC   2009 AZ-SEC $3,100,880
Wealth Enhancement & Preservation, LLC   2009 AZ-SEC $145,006
Knuckleball Capital Management, LLC   2009 AZ-SEC $229,000
Whispering Winds Properties, L.L.C et al.   2009 AZ-SEC $16,633,570
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 AZ-SEC $250,000
Wolfepack Transportation, Inc. aka Wolfpack Transportation, Inc.   2009 AZ-SEC $448,043
The Greatest Only Divine Productions, L.L.C.   2009 AZ-SEC $353,000
DJL & Associates, L.L.C.   2009 AZ-SEC $67,849
The Kodiak Investment Group, L.L.C.   2009 AZ-SEC $382,475
Oasis of Wealth, Inc.   2009 AZ-SEC $53,315
Deluxe Designs International, LLC and Deluxe Live Productions   2009 AZ-SEC $3,225,744
Team Heat, LLC   2009 AZ-SEC $1,047,931
OLOF Enterprises, L.L.C.   2009 AZ-SEC $1,242,612
Iron Horse Petroleum, Inc.   2009 AZ-SEC $149,481
Sir Mortgage & Finance of Arizona, Inc.   2010 AZ-SEC $90,000
Cash 2 U, LLC and Dos Ninas, LLC and Par 3 Management, LLC   2010 AZ-SEC $3,143,755
Green Panel Corp. and Panelized Building Systems of Prescott, L.L.C.   2010 AZ-SEC $1,203,800
Nato Enterprises, LLC   2010 AZ-SEC $3,625,127
Financial American Corp.   2010 AZ-SEC $2,536,692
Motion DNA, Inc.   2010 AZ-SEC $650,712
Secure Resolutions, Inc.   2010 AZ-SEC $3,685,653
Elysium Capital Group, L.L.C.   2010 AZ-SEC $91,430
World Group Securities, Inc. Aegon financial services 2010 AZ-SEC $853,501
Elysium Capital Group, L.L.C.   2010 AZ-SEC $74,100
Sports Dimensions, Inc.   2010 AZ-SEC $5,000
Global Trading Partners, LLC   2010 AZ-SEC $5,000
Grand Canyon Land Company L.L.C. et al.   2010 AZ-SEC $753,655
La Bella Investments, LLC   2010 AZ-SEC $5,000
MJG Enterprises, Inc. dba Mike's Lock Club   2010 AZ-SEC $0
Adamas Investments, LLC   2010 AZ-SEC $690,125
Progressive Energy Partners, L.L.C. et al.   2010 AZ-SEC $312,721
Five Star Tree Service and Landscapes, LLC   2010 AZ-SEC $243,691
Sellman Weis Mortgage & Investment Corp.   2010 AZ-SEC $5,000
One Source Mortgage & Investments, Inc. and Strategic Equity Investments, LLC   2010 AZ-SEC $6,274,453
Barron Thomas Scottsdale, L.L.C. et al.   2010 AZ-SEC $10,051,294
CAA General Partnership   2010 AZ-SEC $2,929,858
Norstreet Portfolio, LLC   2010 AZ-SEC $1,452,599
B.Y.B. Entertainment, L.L.C.   2010 AZ-SEC $104,524
Charlevoix Homes LLC   2011 AZ-SEC $5,727,226
Five Star Capital Markets LLC   2011 AZ-SEC $5,677,226
Theodore J. Hogan & Associates, LLC   2011 AZ-SEC $2,253,310
Phoenician Entertainment, L.L.C.   2011 AZ-SEC $534,000
Plein Enterprises Incorporated dba Tri-Star Realty   2011 AZ-SEC $1,586,182
Assisted Living Development Company, Inc. et al.   2011 AZ-SEC $2,410,895
USDB Group Inc. aka US Deposit Brokers Group aka USDB   2011 AZ-SEC $606,325
New Rise Investments, L.L.C. and AZ Real Estate Group, L.L.C   2011 AZ-SEC $5,000
Energetics, Inc. VSE Corp. freight and logistics 2011 AZ-SEC $250,000
Silversprings Real Estate Development & Investments, L.L.C. et al.   2011 AZ-SEC $7,554,463
Mack Financial Group, LLC   2011 AZ-SEC $215,902
The Investment Advisory Group, L.L.C.   2011 AZ-SEC $13,200
U.S. Media Team, LLC   2011 AZ-SEC $116,260
C-Street Financial Group et al.   2011 AZ-SEC $874,260
Capital Oil & Gas, Limited   2011 AZ-SEC $732,000
CoolTrade, Inc.   2012 AZ-SEC $25,000
3-CG, LLC and Choice Property Group, LLC   2012 AZ-SEC $6,216,949
MAG T, Inc.   2012 AZ-SEC $2,370,455
RLGMAN Corp. and STABLE, LLC   2012 AZ-SEC $1,897,393
Echo Canyon LLC   2012 AZ-SEC $443,709
Comprehensive Cash Flow Funding, Inc. et al.   2012 AZ-SEC $1,253,122
Executive Real Estate Solutions, L.L.C.   2012 AZ-SEC $1,217,747
Southwest Biofuels, LLC   2012 AZ-SEC $730,711
Morgan Financial, L.L.C.   2012 AZ-SEC $72,784
Phoenix Funding, LLC   2012 AZ-SEC $58,905
Download results as CSV or XML
(*): Some penalties are partial or complete duplicates of other penalty records, either because a DOJ settlement duplicates an agency record or because EPA listed the full penalty for a company for each of the company's relevant facilities. Penalty amounts marked with an asterisk have been identified by Good Jobs First as duplicating other penalty amounts.